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Senior Compliance Manager

Clayton Davies Ltd
Posted 2 days ago, valid for 17 days
Location

Deeside, Flintshire CH5 1LH, Wales

Salary

£55,000 - £66,000 per annum

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Contract type

Full Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

Sonic Summary

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  • This position is for a Senior Compliance Manager at a well-established wealth management firm in Flintshire.
  • Candidates should have a minimum of 5 years of experience in a compliance-related role within the wealth management sector.
  • The role involves providing expert compliance advice, updating regulatory policies, and conducting file reviews to ensure compliance.
  • The salary for this position is competitive and commensurate with experience.
  • A RQF level 4 Diploma in Regulated Financial Planning or an equivalent qualification is required.

Job Description:

This is an exciting opportunity to join a well-established firm based in Flintshire operating in the wealth management space who are seeking an experienced Senior Compliance Manager to support their next period of growth.

The role will involve taking responsibility for the following;

  • Responsible for providing expert compliance advice and guidance to the directors and staff within the business, ensuring adherence to regulatory requirements and promoting a culture of compliance within the business.
  • The Senior Compliance Manager will require the requisite knowledge and skills to review and update regulatory policies and procedures, handle FCA technical queries, monitor regulatory changes, conduct file reviews, and contribute to staff and board meetings and publications.
  • Stay updated on regulatory changes and proactively communicate them to colleagues.
  • Conduct comprehensive file reviews to ensure that the firm’s advice is compliant and delivers good outcomes for clients. To identify areas for improvement and implement necessary changes.
  • Engage with all colleagues through meetings, presentations, and publications to build a positive culture.
  • Proactively monitor and communicate regulatory changes to clients and colleagues.
  • Contribute to the development and delivery of effective T&C arrangements within the firm.

Key Requirements;

  • RQF level 4 Diploma in Regulated Financial Planning (or equivalent).
  • Experience in a Compliance related role within the wealth management space.

Apply now in a few quick clicks

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.